Complaints Policy and Procedure

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Complaints

CONTENTS

Summary

1. The Policy

2. Good Practice Guidelines for Staff Handling a Complaint

3. Stage 1 - First Stage Complaint

4. Stage 2 - Complaint to the relevant director

5. Stage 3 - Complaint to the members of the Board

6. Stage 4 - Complaint to the Ombudsman

7. Reopening Cases

8. Compensation

9. Recording and Monitoring Complaints

Appendix A: Complaints Flowcharts.

Summary

Definition of a complaint

A complaint is an expression of dissatisfaction made about the standard of service, or lack of action, which affects anyone using our service. The word 'complaint' does not have to be used by the person making the complaint.

CBHA aims to provide a high quality service in all areas of work and complaints let us know if we get it wrong. CBHA aims to resolve complaints amicably, speedily and fairly.

CBHA's procedure has 3 internal stages:

Stage 1First stage complaint

Stage 2Complaint to the relevant director

Stage 3Complaint to the Board

At every stage of the procedure the complainant must express what actions CBHA can take to resolve the issues that have been raised. This will normally be done whenthe original complaint is made or through a complaint progression form at stages 2 & 3.

If the complainant is not satisfied with the response at Stage 3 then they can take the matter to the Independent Housing Ombudsman Scheme.This is the final stage of the procedure.

CBHA monitors complaints as part of its commitment to providing a quality service and this information is shared with the Board, staff and residents.

Responsibility – the complaints officer is the CBHA officer with responsibility for dealing with complaints.

1. The Policy

Policy Statement

1.1 CBHA aims to provide a high quality housing service but recognises that, there is often room for improvement and that service users may be dissatisfied with the standards offered or achieved. CBHA has a positive approach to receiving complaints and sees them as an important way of receiving direct feedback from service users. Complaints give us valuable information, enabling us to assess our performance and help inform the review of policies and procedures.

1.2 The purpose of the complaints procedure is to deal with specific issues and to resolve problems. The actions of customers who are angry, demanding or persistent may result in unreasonable demands through the amount of information they seek, the scale of service they expect or the number of approaches they make. This issue is dealt with further under ‘Unacceptable Customer Action and Behaviour’ below.

1.3The complaints procedure has been designed to ensure that complaints are resolved to a timescale in line with the procedure.

1.4 It is important that the staff, in providing services, do not view complaints made as personal criticisms.

Aims of the Policy and Procedure

1.5 The aims of the policy and procedure are to ensure that:

  • Service users have easy access to information about how to complain and that CBHA is proactive in handling these complaints and this information is easy to understand and use;
  • Complaints are dealt with fairly and within set time limits
  • Confidentiality is maintained at all times;
  • Whenever possible, complaints are resolved as close as practicable to the point they arise;
  • There is an effective response and appropriate, proportionate redress;
  • Advice and assistance is given to the complainant should they wish to progress their complaint to the next stage.

Sources of Complaints

1.6CBHA can receive complaints from a variety of sources including:

  • Residents
  • Residents representatives or groups
  • Leaseholders
  • Other service users
  • Third party complaints on behalf of one of the above sources where consent has been given by the individual or organisation.

What are complaints?

1.7 Complaints can be about:

  • Something perceived to have been done wrong or badly;
  • Something not done e.g. if we do not send information out which is requested;
  • Impolite or unhelpful staff or contractors;
  • A service not provided within timescales stated;
  • A failure by CBHA to fulfil its legal duties.

1.8 A complaint must be made within six months of when the problem arises or it will not normally be investigated.

1.9 Complaints will be accepted in person, verbally or in any written format including electronically.Where necessary,, CBHA will meetreasonable costs of translating the complaint and other relevant documentation.

1.10 The Policy does not cover:

Complaints that can be dealt with under an existing procedure, for example:

  • The appeals procedure for lettings;
  • Right to Repair;
  • An initial request for a service or information
  • An explanation of CBHA policies and practices;
  • Disagreement with CBHA policies and procedures;
  • An appeal against the amount of rent charged or
  • Disagreement over service charge levels..

Customer Care and Equal Opportunities

1.11CBHA will treat all complainants in a courteous and professional manner and in accordance with our Single Equalities policy. The procedure is regarded as fair and impartial and confidentiality will be respected. Upon request, reasonable translations will be provided and paid for by CBHA.

The Independent Housing Ombudsman Scheme

1.12 CBHA is a member of the Independent Housing Ombudsman Scheme in compliance with the Housing Act 1996. This enables service users and applicants of homes managed by CBHA to have their complaints investigated by an outside body once they have been through all the stages of CBHA's Complaints Procedure.CBHA procedures and literature informs complainants of their right to take their complaints to the Ombudsman.

1.13 The Complaints Procedure is divided into three stages within CBHA and a fourth stage with the Ombudsman. This is designed to give the complainant a clear and straightforward path to follow. Any complainant who appears to have skipped a stage will, other than in exceptional circumstances, be referred back to the appropriate stage. Complaints will not be progressed unless they have been fully investigated at the appropriate stage and complainants will not be able to insist on escalation without good reason. Information for service users and applicants can be found in the Ombudsman Service leaflet ‘how can the Ombudsman help me’ available from the area office.

1.14 When, in the opinion of a Management Team member, a complaint cannot be resolved at subsequent stages of the procedure, CBHA reserve the right to advise the complainant that their complaint will not be investigated further internally. In such instances, the complainant will be advised that they have the right to approach the Ombudsman and request an investigation into CBHA’s handling of the case.

2. Good Practice Guidelines for Staff Handling a Complaint

2.1 The following guidelines apply to staff dealing with a complaint:

  • Be professional, understanding and patient by showing an interest and actively listening to the complainant;
  • Investigate and take seriously all complaints, no matter how trivial they may seem;
  • Find out if the matter has been raised before;
  • Offer assistance with completion of the complaints form and give a staff contact name and telephone number;
  • Keep the complainant informed of the progress of the complaint at all stages, especially if a delay is anticipated;
  • Gather as much information as possible to enable the complaint to be resolved quickly;
  • If the complaint could be the subject of an Insurance claim against CBHA, liaise with the Insurance Manager;
  • Ensure, if possible, that any error is put right and apologise on behalf of CBHA if something has gone wrong;
  • Refrain from criticising or blaming the complainant if the problem has arisen from a misunderstanding on his/her part;
  • Avoid blaming other parts of the organisation;
  • Advise the complainant of other steps they may take under this procedure if they are not happy with the investigation undertaken at any stage and
  • Ensure no-one is treated unfairly as a result of making a complaint to CBHA.

A written record must be kept of the progress of any complaint.

Other Guidelines

2.2 Other factors to be considered are noted below:

Confidentiality

Confidentiality must be maintained when dealing with a complaint and care must be taken when discussing details with a third party, for example a relative or carer. CBHA has guidelines on what information can be shared, in accordance with the Data Protection Act and other good practice.

Complaints abouta Member of Staff

If a complaint is made about a member of staff, he/she must be treated fairly and he/she will be asked for an opinion on the complaint and its justification. Under no circumstances will a member of staff who is complained about investigate the complaint about them.

Offensive Complaints

If an offensive complaint is made, for example the complainant is racist or discriminatory, this will be referred to a senior manager who will investigate and respond. It is possible that action may be taken against the complainant in these circumstances.

Malicious Complaints

A complaint which, upon investigation, is unfounded, and appears to have caused discomfort or inconvenience to a particular person, will be deemed malicious. In such cases, a member of staff will contact the complainant outlining the way the matter has been handled, that the matter has not been proven and that no further action will be taken. The complainant will also be warned about their future conduct. However, this will not apply when a complaint has been made in good faith.

Complaints Involving Solicitors

Use of CBHA's internal procedure does not prevent or prejudice service users from seeking legal redress. However, it should reduce the need for service users to seek remedies by such costly and time consuming actions. Some complaints come directly into the office via Solicitors relating to new or potential insurance claims; staff should inform the Insurance Manager and Complaints officer immediately.

CBHA will not simultaneously investigate a complaint from a customer that is already subject to the legal process. In addition, CBHA will cease to progress a complaint internally if the matter is referred to a solicitor.

Unacceptable Customer Actions and Behaviour

CBHA does not normally restrict the contact complainants have with our offices. However, CBHA does not expect its staff to tolerate behaviour by complainants which is unacceptable, for example, which is abusive, offensive or threatening, and they will take action to protect staff from that behaviour. When we consider that a complainant’s behaviour is unreasonable or unreasonably persistent we will tell them why we find their behaviour unreasonable and we will ask them to change it. If the unacceptable behaviour continues, we will take action to restrict the complainant’s contact with our offices (see Managing Unreasonable Complainants policy).

3. Stage 1 - First Stage Complaint

3.1 The vast majority of complaints will fall into this category. A stage 1 complaint may be in writing, a telephone call or visit to one of CBHA's offices.

3.2 When a stage 1 complaint is made, staff must ensure it is recorded, upon receipt, on the customer contact system as a stage 1 complaint.

3.3 Where the complaint is the responsibility of another service or department, it will be the responsibility of the receiving member of staff to record it on the customer contact systemand then pass it on to the relevant Service Manager. The complaint should be passed on in the quickest possible way, i.e. via email or phone.

3.4 Staff must try,where possible,to resolve the complaint on the spot. This may be possible by handling the issue directly, discussing it with other local staff or with staff from another service. Where this is done (e.g. by re-booking a repair appointment) it will not be necessary to register this as a complaint or send an acknowledgement letter,

Acknowledging the Complaint

3.5 Where the complaint was not resolved on the spot, the member of staff will need to investigate and send out an acknowledgement of the complaint to the complainant.

Response Time

3.6 The timescale for responding to the complainant is 10 working days. Staff should provide a full response within 10 working days unless there are extenuating circumstances preventing this.

3.7 Where it is not possible to respond within this timescale, for example where further investigation is required or information regarding the complaint is pending, the member of staff should advise the complainant, in writing, before the response deadline. In most circumstances this will come from the service manager assigned to deal with the complaint. Care must be taken to ensure that the complainant is kept informed of progress, is dealing with a named member of staff and is not passed between sections or offices.

The Response

3.8 A written response should be given to the complainant by the relevant service manager. Where necessary the response should be translated into the first language of the complainant. If the complainant cannot read or would find it difficult to understand the content of the reply the member of staff should arrange for the matter to be discussed either over the phone or in person by themselves or another appropriate member of staff.

3.9 The reply should give details of the steps taken to investigate the complaintand give reasons for the conclusion reached. An apology should be given in the following circumstances:

  • If it is found that CBHA did something wrong or poorly;
  • If it is found that CBHA did something it should not have according to its policies and procedures and legal obligations or
  • If it is found that CBHA treated someone unfairly, unreasonably, incompetently or in an inappropriate manner.

The letter should spell out the steps that have been taken to put things right or that will be taken if the matter is still outstanding. It should state that if the complainant is unhappy with the response at this stage, then it can be progressed to stage 2. It should state that if we do not hear from the complainant within 20 working daysthe case will be closed.

Is the Complainant Satisfied with the response?

3.10 Where the complainant is satisfied with the response, the complaints officer should end stage 1 and close the case on the customer contact system. Thecomplaints officershould write to the complainant to confirm that the case has been closed.

3.11 Where the complainant does not make contact, having received a response, the case should be kept open.If after 20 working days the complainant does not make contact the complaints officer can assume the response was satisfactory, stage 1 can be ended and the case closed on the customer contact system.

3.12 If within 20 working days the complainant does make contact and is not satisfied with the response then the complaints officer should end stage 1 on the customer contact system and a Complaint Progression Form should be sent to the complainant.

3.13 While a case remains unresolved, e.g. while awaiting a major repair, the complaints officer should email the manager with a reminder to write to the complainant. The manager should write to the complainant with an update on the current situation and copy the letter to the complaints officer. The complainant should be contacted in writing each month while the case remains open.

4. Stage 2 – Complaintto the relevant Director

4.1 If the complainant is not satisfied that the complaint has been investigated effectively and appropriate action taken to address the issues under stage 1, they may progress the complaint to stage 2 where it will be considered by the relevant Director.They should be given a copy of the Complaint Progression Form which they must complete and return. The completed Complaint Progression Form, including how they feel the complaint could be resolved, should be sent withtothe relevant Director. Upon receipt of the stage 2 complaint,thisshould be recorded on the customer contact system.

4.2 If a complainant wants help to fill in the form, perhaps because they cannot read or write, the member of staff receiving the complaint should offer to assist. The nature of some complaints may be such that the complainant does not feel it is appropriate for them to do this. For example, if a complaint is made about a member of staff, then his/her involvement will cease so that CBHA is seen to be fair to the complainant and that member of staff.

4.4 Audio recordings in English will also be accepted if the complainant has difficulty providing a written complaint.

Acknowledging the Complaint and interviewing the Complainant

4.5 The relevant Directorshould acknowledge receipt of the complaint within 5 working days and should make an appointment to see the complainant and discuss the issues in person.

Response Time

4.6 The time scale for responding to the complaint will be 15 working days. The relevant Directorshould, where possible to provide a response within this timescale. The response must be sent by first class post.

4.7 Where it is not possible to respond within 15 working days, for example where further investigation is required or information regarding the complaint is pending, the relevant Director should advise the complainant that it will take longer, giving as near as possible a date when the complainant is likely to receive a response.

Investigating the Complaint

4.8 The relevant Director should:

  • Register the complaint within 5 working days, giving a summary of the nature of the complaint;
  • Ensure the complainant has provided details why they were not satisfied with the stage 1 investigation and outcomes and advise what action CBHA can take to resolve their outstanding concerns;
  • Discuss the complaint with the manager who responded at Stage 1;
  • Raise the matter with other staff in CBHA as appropriate;
  • Examine, as necessary, tenancy files and records and
  • If necessary contact and interview the complainant, to discuss and clarify the issues.

The Response

4.9 A written response should be given to the complainant by the relevant Director. Where necessary this should be translated into the first language of the complainant. If the complainant cannot read or would find it difficult to understand the content of the reply the relevant Director should arrange for the matter to be discussed either over the phone or in person by themselves or another appropriate member of staff.

4.10 The reply should give details of the steps taken to investigate the complaint, and give reasons for the conclusion reached. An apology should be given in the following circumstances: